Experience and Skills
* Bachelor’s degree in accounting or finance and a minimum of 5-7 years of relative professional experience. CPA preferred.
* Thorough understanding of generally accepted accounting principles (GAAP), FINRA, and SEC rules and regulations pertaining to financial reporting.
* Strong analytical and decision-making skills, attention to detail and organizational skills.
* Strong oral and written communications and human relation skills. Ability to communicate in a clear and service oriented manner, and use appropriate, professional language and grammar to effectively exchange ideas and information.
* Ability to function in an automated accounting environment, and strong computer skills.
* Ability to work effectively within strict time constraints.
* Ability to work both independently and collaboratively as a member of the Finance team.
* Ability to follow policies and procedures, and maintain client confidentiality.
* Ability to proactively work with both external and internal clients. Relate with others in a professional manner in order to accomplish work responsibilities and objectives.
* Ability to maintain regular, predictable attendance.
* Successful completion of the FINRA, SIE and Series 99 exams within an agreed upon time frame.
* Assist the Controller in planning, staffing, directing and controlling business and personnel activities.
* Oversee and maintain computerized general ledger accounting systems and subsidiary record keeping systems to ensure the accurate and timely reporting of the Companies’ financial information.
* Oversee the monthly close process.
* Assist in the preparation and review of the monthly financial statements and associated management reports. Review the operating statement totals for the Company as a whole and for the various departments/branches for reasonableness. Perform an analysis of all income and expense and, when applicable, investigate variances from expected results and report findings to management. Analyze and evaluate financial data and prepare statements, supporting schedules and reports for review by management.
* Perform analysis and communicate finding on various revenue and expense reviews as requested by department heads and senior management.
* Assist with the Company’s annual independent audit and regulatory examinations. Work directly with all external auditors. Prepare supporting schedules as requested by the Company’s independent auditors and regulatory agencies for audits. Maintain an effective working relationship with these parties by explaining accounting procedures, answering inquires and providing and/or obtaining information.
* Work directly with internal tax team and external tax advisors by preparing supporting schedules as requested and providing information as needed to file complete and accurate returns.
* Participate in the periodic collection of financial and operations information for surveys.
* Assist the Financial Planning & Analysis team in the preparation of the annual budget material. Provide assistance in variance reporting.
* Participate in the selection of vendors and analyze proposals for equipment and service aspects of the business. Review contracts and proposals to aid in vendor selection.
* Perform any other duties that may be necessary.